DFX Intelligence

C•••••• A••••• C•••••••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisorChartered Financial Consultant37 years in industry

C•••••• A••••• C•••••••••

Advisor at C••••••••• F•••••••• S••••••••• I•••

HOUSTON, TX

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Search this name across graphsid dfx:ria:83b204b8-419e-25d4-ad04-509a06f03bf1

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 9:52 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: May 5, 1997 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: C••••••••• F•••••••• S••••••••• I•••
Current firm class: mixed wealth managerderived
Book size: not public••• Locked
Industry start: Jun 1, 1989earliest registration or exam on IAPD
Years in industry: 37derivedfrom the industry start date
Years at current firm: 5derivedfrom the current registration's begin date
Prior firms: 4

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
C••••••••• F•••••••• S••••••••• I•••	Mixed wealth	Jul 1, 2021	n/a	yes	HOUSTON, TX	Current employment
W••••••• F•••••••• S•••••••• I•••	Former SEC adviser	Jan 28, 2014	Jul 15, 2021	no	HOUSTON, TX\|McKinney, TX\|HOUSTON, TX

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
W••••••• F•••••••• S•••••••• I•••	C••••••••• F•••••••• S••••••••• I•••	Jul 15, 2021	Jul 1, 2021	-14	Firm change	Ibd to new firm
H•••••• T••••••• • K•••• L••	W••••••• F•••••••• S•••••••• I•••	Jan 23, 2014	Jan 28, 2014

Relationships

Registered with (5)

→ C••••••••• F•••••••• S••••••••• I•••Registered adviserregistration: current employment
Jul 1, 2021 to presentfactForm ADV
→ W••••••• F•••••••• S•••••••• I•••Registered adviserregistration: previous registration
Jan 28, 2014 to Jul 15, 2021factForm ADV
→ H•••••• T••••••• • K•••• L••Registered adviserregistration: previous registration
Nov 23, 2009 to Jan 23, 2014factForm ADV
→ N•• E•••••• S••••••••• C•••••••••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:83b204b8-419e-25d4-ad04-509a06f03bf1
First observed: May 5, 1997
Last observed: Sep 14, 2026 8 days ago
Source families: Federal regulator filings
1 registered feed stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.